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The First Six Months Under the Dodd Frank Whistleblower Rules

Executive Briefing and Way Forward

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With the first six months of operation under the new (and still controversial) Dodd Frank whistleblower program now completed, key leaders from the enforcement, whistleblower advocate, and corporate defense communities join in this interactive executive briefing, with opportunity for Q&A and audience polling.

How is the new program managing the record number of whistleblower tips (344 in the first 7 weeks, nearly 50 per week) from individuals not only in the U.S., but also foreign jurisdictions including U.K., China and Australia? How have companies reacted to these developments? What lessons and takeaways for industry, particularly Boards, CEOs, CECOs, GC’s and other leaders within organizations? This “must attend” briefing includes an analysis of the results so far: including the SEC website listing of more than 170 cases (where sanctions against a company exceeded $1,000,000) potentially eligible for whistleblower payouts of between 10–30 percent of the total penalties paid. And the coffers of the SEC’s Investor Protection Fund (which helps fund the bounty hunter payments to whistleblowers) are full. The fund balance is more than $452 million. In May 2011, SEC Chairman Mary Schapiro stated, “Our rules create incentives for people to report misconduct to their employers, but only if those companies have created an environment where employees feel comfortable that management will take them seriously—and where they are free from possible retaliation.”

Our high-level, knowledgeable panel will review the Dodd Frank program results so far and what they mean for organizations going forward.

Stephen CohenAssociate Director of the Division of Enforcement U.S. Securities and Exchange Commission

Stephen Cohen is an Associate Director in the Securities and Exchange Commission’s Division of Enforcement. In that capacity, Steve oversees a broad range of domestic and international enforcement activities, including investigati...
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Donna Boehme
(Moderator)
Principal Compliance Strategists, LLC

Donna Boehme is an internationally recognized authority in the field of organizational compliance and ethics with 20+ years experience designing and managing compliance and ethics solutions, both within the US and worldwide. As Principal of ...
Full Bio

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